BACKGROUNDAgreement and Plan of Merger • March 2nd, 2004 • Summit Financial Services Group Inc • Security brokers, dealers & flotation companies • Florida
AMENDMENT TO AGREEMENT AND PLAN OF MERGERAgreement and Plan of Merger • March 2nd, 2004 • Summit Financial Services Group Inc • Security brokers, dealers & flotation companies
WARRANT To Purchase Common Stock of SUMMIT BROKERAGE SERVICES, INC.Warrant And • March 30th, 2004 • Summit Financial Services Group Inc • Security brokers, dealers & flotation companies • Florida
FULLY DISCLOSED CLEARING AGREEMENT OF PERSHING LLC (FINRA MEMBER)Disclosed Clearing Agreement • March 31st, 2008 • Summit Financial Services Group Inc • Security brokers, dealers & flotation companies • New York
THIS AGREEMENT is made and entered into this 19th day of March, 2008 by and between Pershing LLC (“Pershing”), a limited liability company, and Summit Brokerage Services, Inc. (“Broker”), a Florida corporation.
FIRST AMENDMENT TO AGREEMENT AND PLAN OF MERGERAgreement and Plan of Merger • March 18th, 2014 • Summit Financial Services Group Inc • Security brokers, dealers & flotation companies • Florida
This FIRST AMENDMENT TO AGREEMENT AND PLAN OF MERGER (this “Amendment”) is made and entered into as of March 17, 2014, by and among RCS Capital Corporation, a Delaware corporation (“Parent”), Dolphin Acquisition, LLC, a Delaware limited liability company and a wholly-owned subsidiary of Parent (“Merger Sub”), and Summit Financial Services Group, Inc., a Florida corporation (the “Company”), and amends that certain Agreement and Plan of Merger, dated as of November 16, 2013, by and among Parent, Merger Sub and the Company (the “Merger Agreement”). Capitalized terms used in this Amendment and not defined herein shall have the meanings given to such terms in the Merger Agreement.
LEASE AGREEMENT with SUMMIT BROKERAGE SERVICES, INC.Lease Agreement • March 31st, 2006 • Summit Financial Services Group Inc • Security brokers, dealers & flotation companies • Florida
THIS LEASE, made and entered into this 25th day of June, 2003 by and between 980 ASSOCIATES (the “Lessor”), a Florida partnership, whose address is 980 N. Federal Highway, Suite 400, Boca Raton, Florida 33432 and SUMMIT BROKERAGE SERVICES (the “Lessee”) whose address is 980 N. Federal Highway, Suite 310, Boca Raton, Florida 33432.
EMPLOYMENT AGREEMENTEmployment Agreement • January 4th, 2007 • Summit Financial Services Group Inc • Security brokers, dealers & flotation companies • Florida
THIS EMPLOYMENT AGREEMENT (the “Agreement”) is made and entered as of the 31st day of December, 2006, by and between MARSHALL T. LEEDS, a resident of the State of Florida (“Executive”), and SUMMIT FINANCIAL SERVICES GROUP, INC., a Florida corporation (the “Company”).
595 FINANCIAL CENTER Office Lease between GLL BVK PROPERTIES, LP (Landlord) and SUMMIT BROKERAGE SERVICES, INC. a corporation of the State of Florida (Tenant) Dated October 16, 2009Summit Financial Services Group Inc • December 14th, 2009 • Security brokers, dealers & flotation companies • Florida
This Lease (“Lease”) is made as of the day of , 2009 by and between GLL BVK PROPERTIES, L.P., a Florida limited partnership (“Landlord”) and SUMMIT BROKERAGE SERVICES, INC., a corporation of the State of Florida (“Tenant”).
VOTING AGREEMENTVoting Agreement • November 18th, 2013 • Summit Financial Services Group Inc • Security brokers, dealers & flotation companies • Delaware
This VOTING AGREEMENT, dated as of November 16, 2013 (this “Agreement”), is made and entered into by and among RCS Capital Corporation, a Delaware corporation (“Parent”) and Marshall Leeds (“Shareholder”).
SECOND AMENDMENT TO LEASE AGREEMENT (595 Building)Lease Agreement • April 1st, 2013 • Summit Financial Services Group Inc • Security brokers, dealers & flotation companies
THIS SECOND AMENDMENT TO LEASE AGREEMENT (this “Second Amendment”) is made as of this 28th day of February 2013, by and between GLL BVK PROPERTIES, LP, a Delaware limited partnership (“Landlord”) and SUMMIT BROKERAGE SERVICES, INC., (“Tenant”).
AGREEMENTAgreement Agreement • January 2nd, 2013 • Summit Financial Services Group Inc • Security brokers, dealers & flotation companies • Florida
AGREEMENT (the “Agreement”), made and entered into as of this 28th day of December, 2012, by and among SUMMIT FINANCIAL SERVICES GROUP, INC., a Florida corporation (“Summit”), with its principal place of business at 595 South Federal Highway, Suite 500, Boca Raton, Florida 33432; VERTIGO CAPITAL, L.P., a Delaware limited partnership (“Vertigo Capital”), with its principal place of business at 560 Sylvan Avenue, Englewood Cliffs, New Jersey 07632; VERTIGO MANAGEMENT, LLC, a Delaware limited liability company (“Vertigo Management”), with its principal place of business at 560 Sylvan Avenue, Englewood Cliffs, New Jersey (together, both Vertigo Capital and Vertigo Management, “Vertigo”); DAVID WEINER (“David Weiner”), and LAUREN WEINER (“Lauren Weiner”), whose principal residence is located at 19 East Hill Ct., Tenafly, New Jersey 07670 (David Weiner and Lauren Weiner hereinafter, collectively “Weiner”); and the DAVID WEINER C/F MAX WEINER UTMA/NJ, and the DAVID WEINER C/F DEAN EVERETT WEI
DEFERRED STOCK AGREEMENTDeferred Stock Agreement • October 12th, 2010 • Summit Financial Services Group Inc • Security brokers, dealers & flotation companies • Florida
MEDIATION SETTLEMENT AGREEMENTMediation Settlement Agreement • December 18th, 2007 • Summit Financial Services Group Inc • Security brokers, dealers & flotation companies
The parties and their counsel, having met with W. Jay Hunston, Jr., Certified Circuit Court Civil Mediator, for mediation in the above-styled action on December 12, 2007, and having resolved all disputes between them, agree as follows:
FULLY DISCLOSED CLEARING AGREEMENT OF FIRST CLEARING, LLCDisclosed Clearing Agreement • March 31st, 2008 • Summit Financial Services Group Inc • Security brokers, dealers & flotation companies • Virginia
THIS AGREEMENT is made and entered into this 26th day of October, 2007 by and between FIRST CLEARING, LLC (“First Clearing”) and Summit Brokerage Services, Inc. (“Broker”).
AGREEMENTAgreement Agreement • December 20th, 2012 • Summit Financial Services Group Inc • Security brokers, dealers & flotation companies • Florida
AGREEMENT (the “Agreement”), made and entered into as of this 20th day of December, 2012, by and among SUMMIT FINANCIAL SERVICES GROUP, INC., a Florida corporation (“Summit”), with its principal place of business at 595 South Federal Highway, Suite 500, Boca Raton, Florida 33432; ANTARES CAPITAL FUND III LIMITED PARTNERSHIP, a Delaware limited partnership (“Antares Capital Fund”), with its principal place of business at 9999 NE 2nd Avenue, Suite 306, Miami Shores, Florida 33138; and ANTARES CAPITAL PARTNERS III, L.L.C., a Florida limited liability company (“Antares Capital Partners”), with its principal place of business at 9999 NE 2nd Avenue, Suite 306, Miami Shores, Florida 33138.
ContractSummit Financial Services Group Inc • March 31st, 2006 • Security brokers, dealers & flotation companies
ADDENDUM to that certain Lease Agreement by and between 980 ASSOCIATES, hereafter “Landlord”, and SUMMIT FINANCIAL SERVICES GROUP, INC., hereafter “Tenant”, dated March 22, 2005.
EMPLOYMENT AGREEMENTEmployment Agreement • July 12th, 2011 • Summit Financial Services Group Inc • Security brokers, dealers & flotation companies • Florida
In the event of the utilization of tax carryforwards, Executive shall be paid pursuant to the formula above for any year in which any carryforward is realized, with such payment being made to Executive by the due date (including extensions) for the filing of the Company’s tax return.
